2023078671001 Barclays Capital Inc. CRD 19714 AWC lp.pdf
From July 2021 through June 2022, Barclays Capital Inc. failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to supervise employee outside brokerage accounts. As a result, the firm failed to timely collect and review employee outside brokerage account statements for prohibited trading activity in violation of FINRA Rules 3110 and 2010. For this conduct, Barclays is censured and fined $325,000.
